DAVID THOMAS SCHAPER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2300 E KATELLA AVE STE 400, ANAHEIM, CA, 92806-6049.
DAVID THOMAS SCHAPER has worked at LPL FINANCIAL LLC since May 26, 2004
DAVID THOMAS SCHAPER has 4 Disclosure Event(s).
Date: September 18, 2013 Category: Customer Dispute Allegations: CUSTOMER'S SON, WITH POWER OF ATTORNEY, ALLEGES UNSUITABLE INVESTMENT IN A VARIABLE ANNUITY.
Date: November 16, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: November 20, 2002 Category: Customer Dispute Allegations: CLIENT'S DAUGHTER ALLEGES THE FINANCIAL CONSULTANT DID NOT DISCLOSE THE RISKS ASSOCIATED WITH THE INVESTMENT PURCHASED BY HER FATHER ON JULY 3, 2001. Damage Amount Requested: $16,396.74 Broker Comment: BASED UPON AN INVESTIGATION INTO THE ALLEGATIONS, IT APPEARS THE INVESTMENT PURCHASE WAS SUITABLE AND FULL AND FAIR DISCLOSURE WAS PROVIDED.
Date: October 22, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THE FINANCIAL CONSULTANT DID NOT DISCLOSE THE RISK OR SALES CHARGES ASSOCIATED WITH HIS INVESTMENT PURCHASES. THESE PURCHASES WERE MADE IN JUNE, OCTOBER AND NOVEMBER OF 2001. Damage Amount Requested: $6,667.71 Broker Comment: THE INVESTIGATION INTO THE CLIENTS ALLEGATIONS INDICATES THE CLIENT WAS PROVIDED FULL AND FAIR DISCLOSURE REGARDING HIS INVESTMENT PURCHASES.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for DAVID THOMAS SCHAPER, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More